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'You’ve got to make sure that employees understand what the rules are,' expert warns
Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses
Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...
New topics include the handling of trusted contact persons, the disclosure of order routing, and portfolio margining
Private fund advisers can use it to help gauge regulatory risks
Be sure you work out beforehand that the mock examiner will go beyond pointing out deficiencies and will also recommend 'how to fix them'
Document requests suggests SEC sees climate, ethical risks essential to fiduciary duty
The defendants improperly registered Bóveda with the Commission as an Internet IA
Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests
Education, policies and technology can help prevent cyber threats.